William P. Slattery
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
William Patrick Slattery was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1994. William had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2014 - May 5, 2016
LAMPERT CAPITAL MARKETS INC.
December 11, 2012 - December 12, 2013
BONWICK CAPITAL PARTNERS, LLC
November 8, 2010 - December 6, 2012
AUGMENT SECURITIES INC.
August 12, 2010 - October 13, 2010
WJB CAPITAL GROUP, INC.
November 4, 2009 - June 9, 2010
THE GRISWOLD COMPANY, INCORPORATED
March 2, 2004 - November 3, 2009
SILVER LEAF PARTNERS, LLC
July 8, 2003 - March 1, 2004
GRACE FINANCIAL GROUP LLC
July 1, 2000 - June 24, 2003
SANDERS MORRIS LLC
January 26, 2000 - July 1, 2000
BLACKFORD SECURITIES CORP.
January 25, 1994 - November 28, 1994
JOHN D. MCKEOWN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 62
Date: 1/24/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
LAMPERT CAPITAL MARKETS INC.
CRD#: 103725 / SEC#: , 8-52234
Contact information
FINRA licenses (34 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LAMPERT ADVISORS LLC | SHAREHOLDER | |
| LAMPERT, STEWART RANDY | CHAIRMAN/CEO DIRECTOR/ CCO | |
| NG, NELSON | CHIEF FINANCIAL OFFICER | 1716597 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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